FINRA Essentials: Your Guide to Key Regulatory Touchpoints
This video series guides member firms through key interactions with FINRA, transforming regulatory touchpoints into clear, navigable processes. Each video features FINRA subject matter experts who provide insider perspectives, actionable guidance and valuable resources to help firms engage more effectively with FINRA.
Whether you're preparing for an examination, considering how to share cybersecurity incident information or looking to participate in the rulemaking process, this series offers straightforward explanations and practical guidance designed to enhance your regulatory experience. By increasing transparency and highlighting available resources, "FINRA Essentials" empowers member firms to approach regulatory interactions with confidence and clarity.
Meet the FINRA's Office of the Ombuds
Featuring Sarah Gill, FINRA Ombuds. When firms or their associated persons need a confidential, impartial place to raise concerns about FINRA, the Office of the Ombuds is that resource. In this episode, Sarah explains what the office can — and can't — do, and the kinds of issues it's designed to help with.
Resources
Inside the Rulemaking Process
Every FINRA rule starts with an idea — and a long process before it reaches your firm. This episode follows a rule from concept through advisory committee review, public comment, FINRA Board approval and SEC review, and shows where industry voices shape the outcome along the way.
Resources
Help shape what's next
Is there a part of FINRA you'd like to know more about? We're looking for the common touchpoints that matter most to you and your firm. Send your topic suggestions to [email protected].
FINRA Essentials videos are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the videos does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of the videos does not create a safe harbor from regulatory responsibility. The videos are provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the videos in any form, nor reference them in any publication, without the express written consent of FINRA.